National Endowment for the Arts
General Terms & Conditions
for Grants and Cooperative Agreements
updated for FY 12 awards
Grants & Contracts Office
National Endowment for the Arts
1100 Pennsylvania Avenue, NW; Room 618
Washington, DC, 20506
Telephone (202) 682-5403
FAX (202) 682-5610 or 5609
The General Terms & Conditions for Grants and Cooperative Agreements to Organizations
(General Terms) apply to all grants and cooperative agreements (also referred to as "awards"
or "assistance awards") that the National Endowment for the Arts (Arts Endowment or NEA)
issues to nonprofit organizations, institutions of higher education, units of state and local
governments, and Federally-recognized Indian Tribal governments.
These General Terms are based on the administrative requirements of the Office of
Management and Budget (OMB) Circular A-110 (2 CFR 215), the Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments
OMB Circular A-102 (2 CFR 230), and the Federal laws, rules, regulations, and Executive
Orders that apply to grants and cooperative agreements. They also are based on the Arts
Endowment's legislation, rules, regulations, and policies. Award recipients must be familiar
with and comply with these General Terms.
General information about your grant is available online at www.arts.gov/mygrant.. Award
materials, including payment request and report forms, and links to the OMB Circulars
referenced throughout the General Terms are available on our Web site at
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TABLE OF CONTENTS
Acceptance of an Arts Endowment Award
1. Your Responsibilities 4
2. Compliance with DUNS Number and CCR Requirements 4
3. Compliance with General Terms and Conditions and other Conditions 4
4. Acknowledgment of Arts Endowment Support and Disclaimer 4
5. Authorizing Official 5
Obtaining Award Funds
6. Requesting Payment 6
If There Are Changes in Your Project
7. Award Amendments 7
8. Foreign Travel Requests 9
9. Return of Full or Unused Portion of an Award or Declining an Award 10
Remedies and Termination
10. Termination 11
11. Reporting Requirements 12
Matching (or Cost Share) Requirements
12. Matching 13
13. Use of In Kind (Third-Party) Contributions for Matching Purposes 13
14. Use of Program Income 14
15. Inclusion of Indirect Costs as Allowed by a Federally-negotiated Agreement 14
16. Record Retention 15
17. Financial Management Standards: Maintaining Accounting Records 15
18. Procurement Standards 16
19. Personnel Activity Documentation (Documenting Salaries & Wages) 16
20. Equipment 17
21. Copyright 17
22. Library of Congress Cataloging in Publication 17
23. A-133 Audit Requirements 18
24. Award Payment Confirmation for Audit Purposes 18
25. Catalog of Federal Domestic Assistance (CFDA) Numbers 18
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Office of Management and Budget (OMB) Circulars that Govern Your Award
26. Uniform Administrative Requirements 18
27. Cost Principles 19
National Policy and Other Legal Requirements, Statutes, and Regulations
that Govern Your Award
28. Nondiscrimination Policies 19
29. Environmental and Preservation Policies (NEPA and NEHPA) 20
30. Other National Policies 21
a. Debarment and Suspension 21
b. Drug-Free Workplace Act 21
c. Lobbying 22
d. Native American Graves Protection and Repatriation Act 22
e. U.S. Constitution Education Program 23
f. Arts Endowment Enabling Legislation 23
g. Prohibition on Use of Funds 23
Subgranting for State Arts Agencies, Regional Arts Organizations and Designated
Local Arts Agencies
31. Subgranting 23
32. Arts Endowment Staff 25
33. Accessibility Resources 26
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Acceptance of an Arts Endowment Award
1. Your Responsibilities
In accepting an Arts Endowment award, your organization assumes legal, financial,
administrative, and programmatic responsibility for administering the award in accordance
with any provisions included in the award, as well as the laws, rules, regulations, and
Executive Orders governing assistance awards; and these General Terms, all of which are
hereby incorporated into this award by reference. While we may provide you with reminder
notices regarding award requirements, the absence of receiving such notice does not relieve
you of your responsibility to meet all applicable award requirements.
Failure to comply with these requirements may result in suspension or termination of the
award and our recovery of funds.
Lead members of consortia or entities responsible for approved independent components are
responsible for all aspects of the award. Your organization must submit all payment requests,
reports, and any amendment requests. (These same requirements hold for awards made to
Fiscal Agents before FY 2007.)
2. Compliance with the Requirement to have a Dun & Bradstreet (DUNS) Number and
Active Registration in the Central Contractor Registration (CCR)
On September 14, 2010, OMB published its final guidance in 2 CFR Chapter I, Part 25,
codifying the following:
Award recipients are required to maintain current information in the Central Contractor
Registration (CCR) until an award is closed. This includes renewing your registration in
CCR at least annually after the initial registration, and more frequently if required by
changes in your information or another award term. Note that in some cases you will
need to update your information with Dun & Bradstreet before you can complete your
3. Compliance with the General Terms and any other Conditions
Submission of a signed Request for Advance or Reimbursement (payment request) form
constitutes your agreement to comply with all the terms and conditions of the award.
4. Acknowledgment of Arts Endowment Support and Disclaimer
Acknowledgment of the National Endowment for the Arts must be prominently displayed in all
materials and announcements for your funded project. For print materials, a phrase
acknowledging support from the National Endowment for the Arts is a basic requirement. In
addition, we encourage you to use the agency's logo whenever possible.
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For radio or television broadcast, we require the following language: "This project is
supported in part by an award from the National Endowment for the Arts. Art Works." For
television broadcast, display of the Arts Endowment logo is required.
The logo is available at www.arts.gov/manageaward. We reserve the right to change the
language of the required acknowledgement of Arts Endowment support, as well as the right
to disallow the use of our logo and acknowledgment of our support.
For more guidance in planning your media campaign, please consult "Working with the Media
Toolkit" at www.arts.gov/manageaward/Working-with-the-Media-Toolkit.pdf . This toolkit
provides tips for reaching out to members of the press, using social media, and crafting a
press release announcing your NEA grant.
5. Authorizing Official.
An authorizing official is an official with the recipient organization who has authority to legally
bind the organization. For organizations that act as a lead member of a consortium or are
responsible for an approved independent component (e.g., a University and its art museum),
the authorizing official must work for the lead organization.
For purposes of administering this award, the following apply:
a. Grants.gov Application Form. Authorizing officials are designated on the grants.gov
application form. This electronic "signature" is accepted if your application was submitted
through Grants.gov and the individual meets the definition above or the criteria below for
an authorizing official. We reserve the right to request a "hard copy" signature (i.e., ink on
paper) of an organization's authorizing official, if necessary.
b. By Virtue of Position. The following are considered to be authorizing officials for this or
any award you may receive from the Arts Endowment, whether or not they have signed
for nonprofit organizations (excluding colleges and universities): chairman or officer of
the board, president, executive director, chief financial officer (for financial matters), or
individual of similar rank;
for colleges and universities: chancellor, provost, president, trustee, director of
sponsored programs/research, or individual of similar rank;
for cities or municipalities, or departments thereof: mayor, city manager/ administrator,
designated department, agency, or office official, or individual of similar rank; or
for states or departments thereof: governor or designated agency, department or office
official, or individual of similar rank.
c. Arts Endowment Panelist and Council Member Conflicts. No panelist can review an
application from an organization with which he or she is affiliated. In addition, if a panelist
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later becomes associated with a project that he or she reviewed, then he or she cannot
act as an authorizing official for that project. This prohibition is in effect throughout the
entire period of support.
Similarly, once an authorizing official for an organization that is an applicant or grantee
becomes a member of the National Council on the Arts, the Council member must recuse
him/herself from acting as an authorizing official for applications and grant actions,
including payment requests.
d. Changes in or Additional Authorizing Officials. To designate other individuals as
authorizing officials for this or any other Arts Endowment award, submit a letter making
such a request—signed by a current authorizing official—to our Grants & Contracts Office
(G&C). A Signature Authorization Form is available on our Web site for your use. NOTE:
Colleges and universities should follow these procedures to delegate authority to a fiscal
officer or other appropriate personnel to sign payment requests and Federal Financial
Please submit updated information if changes in authorizing officials occur within your
organization (e.g., let us know if someone is no longer serving as an authorizing official).
Obtaining Award Funds
6. Requesting Payment
a. Requests for Advance or Reimbursement. The Request for Advance or
Reimbursement (payment request) form and instructions are available on our Web site.
Payment requests must reflect allowable project-related expenses already incurred
(reimbursement) and/or expenses to be incurred within 30 days from the date the
authorizing official signs the request (advance). All costs must be incurred within the
approved period of support.
Labor Assurance. You must comply with the labor standards set out in "29 CFR Part
505 Labor Standards on Projects or Productions Assisted by Grants from the National
Endowments for the Arts and Humanities." This is required by the National Foundation
on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 et seq.).
Read the "Assurances as to Labor Standards" (page 2 of the payment request form)
carefully. When you sign the payment request form you are assuring to these
Progress report. Generally, this information is only required the first time the
cumulative amount requested exceeds two-thirds of the award amount.
IMPORTANT: Funds must be disbursed immediately upon receipt. If you cannot do
so, you must return the funds to the Arts Endowment. If interest is earned on advanced
funds, please contact the G&C Office. In addition, you may not request funds to cover
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expenditures incurred prior to the beginning of the period of support (pre-award costs are
b. Tracking Status of Grant Payments on www.arts.gov/mygrant. By entering your 10-
digit grant number, you can see when we received your payment request, when it was
processed, and the amount paid. A payment history and the current balance on your
award are also displayed. At this time, cooperative agreement payment information is not
c. Payments through an Alternative Method of Funding. If you are currently on the
working capital advance, cost reimbursement, or certification method of payment, refer to
the NEA's Inspector General's guidelines available on our Web site at
d. Withholding Payments. Payment may be withheld any time you fail to comply with the
terms and conditions of this award. This includes failure to maintain a current CCR
registration. Payment may also be withheld if you are non-complaint on another NEA
award. If we withhold payment, but do not suspend or terminate the award, the
payment(s) will be released once we determine that you are in compliance.
e. Federal Debt Status: You may not be delinquent in the repayment of any Federal debt.
Examples of relevant debt include delinquent payroll or other taxes, audit disallowances,
and benefits that were overpaid (OMB Circular A-129). You must notify us immediately if
you become delinquent during your project period. We cannot release your award funds
until you provide documentation showing a repayment plan has been accepted by the
Internal Revenue Service and payments have been made.
If there are Changes in Your Project
7. Award Amendments
You are required to carry out a project consistent with the application or proposal approved
for funding by the Arts Endowment. As soon as you know that changes are necessary, and
before implementation, you must submit a written request to the Grants & Contracts Office for
approval. Requests submitted to other Arts Endowment offices often result in a delayed
Each request must include:
10-digit grant number (or DCA number for a cooperative agreement),
specific change(s) requested (for types of amendments, see below)
justification for the change(s),
revised project budget, if applicable,
contact information, including a phone number, fax number and e-mail address,
signature of a current authorizing official (see Item 5).
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We reserve the right to request additional information, such as an update on specific project
activities, or an itemized list of actual expenditures to date, as needed. In addition, if the your
organization is undergoing an audit by the Arts Endowment's Inspector General's office,
amendments of the award(s) in question will not be approved independent of the audit
Amendment requests are considered on a case-by-case basis; approval is not guaranteed.
Until you receive written approval from the Grants & Contracts Office, you may only
incur costs consistent with the terms and conditions of the award in effect at the time
of your request.
a. Period of Support Extensions (Time Amendments). All project activities and the
commitment of project funds must take place within the period of support set out in your
award document. As soon as you become aware that your project cannot be completed
on schedule, you must request a time amendment following the procedures outlined in the
box above. Requests submitted after the current end date of your award, or requests to
extend the total period of support beyond four years, may not be approved.
b. Liquidation of Obligations. You are also responsible for ensuring that all obligations
incurred under an award are liquidated (paid) within 90 days of the end of the period of
support to coincide with the submission of the Federal Financial Report. If all obligations
cannot be liquidated within the 90 days, a time amendment must be requested.
c. Changes in Project Scope. Project activities must be consistent with those approved for
funding by the Arts Endowment. Contact us immediately if you want to make changes.
You must request a scope amendment, following the procedures outlined in the box
above. Requests submitted after the fact may not be approved.
d. Change in Artists: If changes in artists or arts organizations identified in your application
or proposal are necessary, you must request an amendment following the procedures
outlined in the box above. Include a short biography or description of the new artists or
arts organizations proposed. Requests submitted after the fact may not be approved.
Prior approval is waived for changes in other key persons (e.g., executive or project
directors), as outlined in OMB Circular A-110 (2 CFR 215), Section 25 or the "Common
Rule," Section 1157.30, unless your award specifies otherwise.
e. Consortium Member Changes (Grants for Arts Projects and Artworks awards made
specifically as consortia grants). If changes to the consortium membership are
necessary, you must seek written approval from the Arts Endowment before any changes
are made, following the procedures outlined in the box above. In addition, you must also
written concurrence from the consortium member dropping out of the project;
a new Consortium Partner Information form for the new member; and
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a signed letter of commitment from the new consortium member that describes their
involvement in the project.
Requests submitted after the fact may not be approved.
f. Budget Revisions. Your award package includes an approved project budget that
reflects the information contained in your application or proposal and any revisions made
at your request or by us in order to bring it into compliance with our guidelines and
applicable Federal regulations. All costs must be incurred within the project period
specified in the award document or an approved amendment. The budget cannot include
overlapping costs (e.g., share any costs) with any other Federal award.
These minor changes in the project budget do not require written approval from us.
transfers among direct cost line items
allocation of Arts Endowment funds among approved project costs
elimination or addition of an allowable project cost that does not affect the scope of the
These significant changes in the project budget require prior written approval from us.
budget changes due to a change in the scope of the Arts Endowment-supported
adding permanent equipment, foreign travel, or indirect costs
request to increase the Arts Endowment award amount.
Requests for significant budget changes must include the information outlined in the box
above. Requests submitted after the fact may not be approved.
g. Matching. We will not waive minimum matching requirements except under the most
unusual circumstances. Such requests must be accompanied by a new budget that
reflects the revised commitment to the project. Requests submitted after the fact may not
be approved. NOTE: For Save America's Treasures grants, matching requirements will
not be waived.
h. Final Reports Filing Extensions. You must fulfill all final reporting requirements within
90 days of the project period end date. If your project is completed but you need
additional time to submit the required Final Reports and/or product, you may ask for an
extension on filing the Final Reports. Follow the procedure outlined in the box. Requests
submitted after the final report due date may not be approved. Failure to submit a timely
request may jeopardize future Arts Endowment funding.
8. Foreign Travel Requests
a. Foreign travel is defined in the OMB Circulars as any travel outside Canada, Mexico, the
United States (U.S.), and its territories and possessions. The Grants & Contracts Office
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must give written approval for all foreign travel not identified in your application or revised
budget before travel is undertaken.
PLEASE NOTE: While travel requests to Mexico and Canada that are project related,
allocable, and allowable do not require prior written approval from the Arts Endowment
before being undertaken, the Fly America Act does apply. Please see b) for more
b. According to the Fly America Act, any air travel (inclusive of persons or property) paid
in whole or in part with Arts Endowment funds must be on a U.S. air carrier or a foreign air
carrier under an air transport agreement with the United States when these services are
available. For the Fly America Act, the United States means the 50 states, the District of
Columbia, and the territories and possessions of the United States. U.S. air carrier service
is considered available even when a foreign air carrier can provide a comparable or
different kind of service at less cost and/or foreign air carrier service is preferred by, or is
more convenient for, the traveler.
U.S. air carrier service is considered to be unavailable only under the following conditions:
the traveler's origin or destination airport is a gateway airport abroad (i.e., the airport
from which the traveler last embarks en route to the United States or at which the
individual first arrives when traveling from the United States), and the use of a U.S. air
carrier would increase travel time by at least 24 hours over travel by a foreign air
when a traveler while en route must transfer to another flight, and the use of a U.S. air
carrier would extend travel time at least six hours over travel by a foreign air carrier;
when travel time on a scheduled flight by a foreign air carrier is three hours or less,
and service by a U.S. air carrier would involve twice as much travel time; or
when travel is between two points outside the U.S. and the use of a foreign air carrier
would eliminate two or more aircraft changes en route.
If you discover that service on a U.S. air carrier or a foreign air carrier under an air
transport agreement with the United States is unavailable, you must request an exception
in writing from the Grants & Contracts Office before travel is undertaken.
9. Return of Full or Unused Portion of an Award or Declining an Award
If you cannot carry out the project, or cannot use the entire award amount, you must notify
the Grants & Contracts Office in writing. Your letter should include:
the 10-digit grant number (or DCA number for a cooperative agreement),
an explanation for the return of the funds,
contact information, including a phone number, fax number and e-mail address,
the signature of an authorizing official, and
if returning funds, a check in the correct amount payable to the National Endowment
for the Arts (include the award number on the memo line).
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If you have expended any of the NEA's funds for the project, you are still responsible for
submitting your Final Reports by their due date.
If you are declining the award and have not drawn down any funds, your letter should include:
the 10-digit grant number (or DCA number for a cooperative agreement),
an explanation, and
contact information, including a phone number, fax number and e-mail address, and
the signature of an authorizing official.
Remedies and Termination
There are circumstances under which we may determine that it is in the best interests of the
government to terminate an award. OMB Circular A-110 (2 CFR 215), Sections 61 & 62, and
the "Common Rule," Sections 1157.43 and .44, respectively, provide uniform termination
procedures for Federal awards. Grants and cooperative agreements may be terminated in
whole or in part,
a. For Convenience:
By you upon sending us written notification with the reasons for the termination, the
effective date, and in the case of partial termination, the portion of the project to be
By us with your consent, in which case we will agree upon termination conditions,
including the effective date and, in the case of partial termination, the portion of the
project to be terminated.
However, if we determine that the reduced or modified portion of the award will not
accomplish the purposes for which it was made, we may terminate the award in its
b. For Cause by us if you materially fail to comply with the terms and conditions of an
In either case, this may result in our taking additional actions such as requiring you to return a
portion or all of the award funds, requesting that you remove acknowledgement of Arts
Endowment support, recommending government-wide suspension, etc.
In addition, termination may occur as described in 2 CFR Part 175, which has been amended
to address paragraph (g) of section 106 of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)).
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11. Reporting Requirements
Your grant package includes a blue Reporting Requirements document, which outlines the
reporting requirements for this award. Cooperative Agreements include reporting
requirements and delivery schedule instructions within the agreement. We may request
additional information as necessary. Instructions and report forms are on our Web site.
a. Progress Reports. A progress report is generally required once the cumulative amount of
funds requested exceeds two-thirds of the award amount. Specific instructions for
submitting your progress report are in your Reporting Requirements document and on the
payment request instructions.
b. Special Reporting Requirements. We may require you to submit certain information
before funds can be released (e.g., a signed recording contract, copyright release, an
itemized list of actual expenditures to date, etc.) or at other times during the project.
Instructions will be included in your award package when applicable.
c. Final Reports. A Final Report package including the Final Descriptive Report (FDR), the
Federal Financial Report (FFR), and any required final product(s) must be submitted no
later than 90 days after the project period end date. As of FY 12 (award numbers
beginning 12- ), final reports must be submitted electronically. Refer to the Reporting
Requirements document in your award package or your Cooperative Agreement for more
Carefully review your Final Reporting Requirements and the FDR form to determine the
narrative information required. All questions must be addressed and statistical and
geographic data entered. An authorizing official must sign the FFR to verify that the
project for which Arts Endowment funds were awarded has been carried out and that the
matching requirement, if any, has been met.
d. Tracking Status of Final Reports on www.arts.gov/mygrant. By entering your grant
number, you can see when your final reports are due and if a product is required. You can
also see if we received them.
e. Failure to submit the required Final Reports for any award(s) renders you ineligible to
receive funding for five years following the final report due date of the award(s) or until the
delinquent final reports are submitted, whichever occurs first. Acceptability of final reports
may also affect eligibility for new awards. In addition, failure to submit required final
reports within 210 days from the project period end date will result in the withdrawal of any
funds remaining on that award.
NOTE: The delivery of first-class mail to the NEA continues to be delayed due to security
screening. First-class and Priority mail is put through an irradiation process to protect
against biological contamination which may damage your final products (e.g., CDs,
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videos, slides). Please FAX payment requests and report forms or use an alternative
delivery service if you are sending fragile or time-sensitive materials.
Matching (or Cost Share) Requirements
Unless otherwise stated in your grant award document or cooperative agreement, Arts
Endowment funds may not exceed 50 percent of the total cost of the Arts Endowment-
supported project (i.e., funds must be matched one-to-one, or "dollar for dollar"). This
required match, or "cost share," refers to the portion of project costs not paid by Federal
The Federal Financial Report (FFR) is used to verify that the required match has been met.
Ensure that the amounts reported on your FFR are based on actual allowable project
expenditures and can be easily reconciled to your accounting records. Unallowable costs,
such as fundraising, receptions, etc (see the Cost Principles - 2 CFR 230, 2 CFR 220, and 2
CFR 225) cannot be included in these amounts.
Ineligible Matching Resources. The following items are not eligible as match.
Other Federal funds including NEA funds. This includes Federal funds that have been
subgranted or disbursed to you from your State Arts Agency or another grantor and
clearly identified as such. It is your State Arts Agency's (or other grantor's) responsibility to
inform you if any portion of their award to you is a direct flow-through from a Federal
Resources that have been used to match another Arts Endowment award or other
Contributions or gifts transferred to your organization that are restricted and cannot be
used to support the project.
Gifts (testamentary or otherwise) which are not available to your organization during the
13. Use of In-kind (or Third-Party) Contributions for Matching Purposes
If you include in-kind, third-party (i.e., not your own) contributions or donations as part of your
match, they must also be included as direct costs in your project budget and reflected as
such in your accounting records. Volunteer services and donated property or space must be
documented and their value determined according to the principles set out below.
a. Volunteer services provided to you by professional and technical personnel, consultants,
and other skilled and unskilled labor may be used as match if the service is integral to the
approved project. Volunteer services must be valued at rates consistent with those paid
for similar work within your organization. If you do not have employees performing similar
work, the rates must be consistent with those paid by other employers for similar work in
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the same labor market. In either case, a reasonable amount of fringe benefits may be
included in the valuation.
b. When a third-party employer furnishes the services of an employee, these services
must be valued at the employee's regular rate of pay (plus a reasonable amount of fringe
benefits), provided these services involve the same skills for which the employee is
c. The value of donated equipment must not exceed the fair market value of equipment of
the same age and condition at the time of donation. The value of loaned equipment
cannot exceed its fair rental value.
d. The value of donated space must not exceed the fair rental value of comparable space
as established by an independent appraisal of comparable space and facilities in a
privately owned building in the same locality.
e. The value of donated supplies or other expendable property should be reasonable and
should not exceed the fair market value of the property at the time of donation.
NOTE: A sample format for documenting in-kind contributions is on our Web site.
14. Use of Program Income
Income earned during the period of support that results from activities supported through an
Arts Endowment award is considered to be program income. These earnings can include, but
are not limited to, income from fees for services, admission fees or the use or rental of real or
personal property. Program income may be used as part of the match for an award, for
additional costs of the Arts Endowment-supported project, or for other eligible projects in the
arts conducted by the recipient.
15. Inclusion of Indirect Costs as Allowed by a Federally-Negotiated Agreement
The following applies only to those recipients who have indirect costs (or facilities and
administrative costs for colleges and universities) included in their NEA approved project
Indirect costs are calculated using a rate that has been negotiated with a Federal agency or
based on an estimate. These costs are allowable and the recipient may use the
corresponding amount to meet matching requirements.
a. Estimated indirect cost rate. If indirect costs based upon an estimate were included in
your approved project budget, a rate proposal must be submitted to the oversight Federal
agency immediately after you have received notification of an award or within three
months after the start date of the period of support. Otherwise, a revised budget may be
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b. Expiration of indirect cost rate. If your rate expires during the period of support, you
must submit a proposal in time for the rate to be renegotiated before the end of the period
of support, unless your institution is governed by OMB Circular A-21 (2 CFR 220). If the
negotiated rate exceeds the rate specified in the approved project budget, the use of a
higher rate is subject to the limitations set forth in OMB Circulars A-21 (2 CFR 220), A-87
(2 CFR 225), or A-122 (2 CFR 230), as applicable. In no event will additional Federal
funds be awarded to support an increase in indirect costs.
c. Closing out your award. A negotiated rate lower than the rate included in the project
budget or failure to negotiate a rate by the end of the period of support may result in
decreased Federal support if the total non-Federal costs applied toward your Arts
Endowment project do not satisfy the award's matching requirement. The NEA will not
close out an award with a provisional rate if the indirect costs are needed to meet the
minimum required match.
Please note that, generally, the Arts Endowment does not support research awards; therefore
indirect cost research rates are rarely approved.
16. Record Retention
You must maintain financial records, supporting documents (such as cancelled checks,
invoices, contracts, travel reports, donor letters, in-kind contribution reports, and personnel
activity reports), statistical records, and all other records pertinent to an award according to
the provisions outlined in OMB Circular A-110 (2 CFR 215), Section 53, or the "Common
Rule," Section 1157.42, as applicable. Generally, the retention period is three years from the
date the final FFR is filed.
During the project period and the subsequent three-year retention period, the NEA's
Inspector General, the Comptroller General of the United States, or any of our duly
authorized representatives has the right to request additional information and/or to timely and
unrestricted access to project records in order to audit, examine, excerpt, transcribe or copy
them. This includes timely and reasonable access to the recipient's personnel for the purpose
of interview and discussion related to the records. The rights of access in this paragraph are
not limited to the required retention period, but shall last as long as records are retained. (A-
110 Subpart C _.53 as noted above)
17. Financial Management Standards: Maintaining Accounting Records
There can be no overlapping project costs between Federal awards. Therefore, separate
accounting records must be maintained for each award. OMB Circular A-110 (2 CFR 215) ,
Section 21, and the "Common Rule," Section 1157.20, as applicable, establishes standards
for financial management systems of recipients (i.e., accounting systems, internal controls,
allowable costs, cash management, etc.). The financial management systems of recipient
organizations and their subrecipients must meet these standards.
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The NEA's Inspector General has prepared two publications, "Financial Management Guide
for Non-Profit Organizations" and "Financial Management Guide for State and Local
Governments," that contain practical information on what is expected in terms of fiscal
responsibility. These publications can be found at www.arts.gov/about/OIG/Contents.
18. Procurement Standards
OMB Circular A-110 (2 CFR 215), Section 40, and the "Common Rule," Section 1157.30, as
applicable, establish standards for procurement. You must have standards to ensure that
materials and services acquired under Federal awards are obtained in an effective manner
and in compliance with the provisions of applicable Federal statutes and Executive orders.
Written procedures should include, among other things, determining economical approaches,
providing for competition, dealing with conflict of interest, efforts to use minority, women-
owned and small businesses, and maintaining records sufficient to detail the procurement
19. Personnel Activity Documentation (Documenting Salaries & Wages)
OMB Circulars require that compensation for personnel services charged to Federal awards
be properly documented. Please refer to the applicable cost principles for the specific
documentation that must be maintained.
The NEA requires formal personnel activity reports (also known as "time and effort" reports)
for any employee whose salary is charged, in whole or in part, to either the award or the
matching funds if:
your award is $50,000 or greater, or
you are on an alternative method of funding (as noted in your award document or the
Inspector General's audit follow-up report).
Sample formats for documenting personnel activity are provided on our Web site.
However, you may choose any format appropriate to your scale of operations. Reports
must be prepared at least monthly and must coincide with one or more pay periods.
Although you generally are not required to submit these to us, we reserve the right to
Except as noted above, the Arts Endowment waives the requirement to maintain personnel
activity reports. However, you are still required to keep other appropriate records (e.g., payroll
records, in-kind documentation, etc.) verifying the salary or wage costs attributed to the
Federal or matching funds.
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Equipment is defined as an article of tangible, nonexpendable, personal property having a
useful life of more than one year that costs $5,000 or more. Before purchasing equipment not
identified in the approved project budget, you must obtain written approval from the Grants &
Contracts Office (see Section 7 "Awards Amendments). You are encouraged, whenever
possible, to purchase American-made equipment in accordance with the "Buy American Act"
(41 U.S.C. 10a-10c).
Unless otherwise specified, you will have title to equipment commissioned, purchased, or
fabricated under the award, without further obligation to the Federal government, provided
that it will be used for activities similar to those approved by the Arts Endowment. We
reserve the right to stipulate at the time of the award specific instructions for disposition of the
equipment when you no longer need it (e.g., a transfer of title to the Federal government or a
You also have title to artwork purchased under the Arts Endowment award, without further
obligation to the Federal government, provided that it will be used for similar activities.
Examples of similar activities include selling the work to another museum or visual art center
with the intention that it will be available to the public. It may not be deaccessioned to a
private collector where it would no longer be on view to the public.
You may arrange to copyright any materials you develop from the work undertaken during the
period of support without prior approval from us. For procedural information, contact: U.S.
Copyright Office, Library of Congress, www.copyright.gov.
Unless otherwise specified in the award, we are not entitled to receive royalties from work
supported or made possible by a grant or cooperative agreement; however, we retain a
royalty-free right to use such work for Federal government purposes (e.g., the use of final
report final products to document the results of our award programs), including placement on
our Web site.
22. Library of Congress Cataloging in Publication Data
We strongly recommend that any publication that results from this award be cataloged by the
Cataloging in Publication Program of the Library of Congress before final printing. This
method of cataloging enables libraries to acquire and process books quickly. Publishers
ineligible for this program may be eligible for the Library's Preassigned Card Number
Program. Entering these titles in a national bibliographic database leads to greater
dissemination of publications. For procedural information, contact: Library of Congress,
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23. A-133 Audit Requirements
OMB Circular A-133, "Audits of States, Local Governments and Nonprofit Organizations,"
includes specific guidance for conducting financial and compliance audits. The threshold for
requiring an A-133 audit is $500,000 in yearly expenditures of Federal funds for fiscal years
ending after December 31, 2003. This amount is the aggregate of funds from all Federal
OMB Circular A-133 and the yearly compliance supplements are available online at
www.whitehouse.gov/omb/grants_circulars. If you have questions, contact the Office of
Inspector General at (202) 682 5402 or email@example.com.
24. Award Payment Confirmation for Audit Purposes
To confirm the exact amount of an award payment received from us, you should FAX or mail
your request to the Finance Office, National Endowment for the Arts, Room 624, 1100
Pennsylvania Avenue, NW; Washington, DC 20506-0001. FAX (202) 682 5679.
NOTE: Confirmation requests must include your official, legal name, and the grant or
cooperative agreement number(s); otherwise the Finance Office will not be able to process
25. CFDA Numbers (Catalog of Federal Domestic Assistance)
The CFDA tracks award programs in the Federal government and assigns each a specific
number. CFDA numbers are included on your award document:
45.024 Awards to Organizations and Individuals
45.025 Partnership Agreements
45.201 Arts & Artifacts Indemnity
Office of Management and Budget (OMB) Circulars that Govern Your Award
26. Uniform Administrative Requirements
Nonprofit organizations and colleges and universities are subject to the provisions of OMB
Circular A-110 (2 CFR 215) ("Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit
Organizations"), as amended. Units of state and local governments and Federally-recognized
Indian Tribal governments are subject to the administrative requirements codified by the Arts
Endowment at "45 Code of Federal Regulations (CFR) Part 1157 "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments"
("Common Rule"). Both are available through a link on our Web site.
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The "Uniform Administrative Requirements" establish administrative standards to ensure
consistency among recipients of Federal awards. These include financial and program
management, property and procurement standards, cost sharing or matching, and reporting
and record retention. These requirements, as applicable, are hereby incorporated into this
27. Cost Principles
The allowable costs for work performed under an Arts Endowment award shall be determined
in accordance with the applicable Federal cost principles and the terms and conditions of the
award. The following OMB Circulars set forth the Federal cost principles that, in general,
apply to our recipients. They are available through a link on our Web site. These cost
principles, as applicable, are hereby incorporated into this award:
a. OMB Circular A-122 (2 CFR 230), "Cost Principles for Nonprofit Organizations," as
amended: nonprofit organizations, exclusive of institutions of higher education;
b. OMB Circular A-21 (2 CFR 220), "Cost Principles for Educational Institutions," as
amended: public and private institutions of higher education;
c. OMB Circular A-87 (2 CFR 225), "Cost Principles for State and Local Governments," as
amended: state, local and Federally recognized Indian tribal governments; and
d. Federal Acquisition Regulation (FAR) at 48 CFR Part 31 for commercial organizations,
individuals, and those nonprofit organizations listed in Attachment C to OMB Circular A-
122 (2 CFR 230). The FAR is available online at www.acquisition.gov/Far/
National Policy and Other Legal Requirements, Statues, and Regulations that
Govern Your Award
28. Nondiscrimination Policies
You must execute your project (e.g., productions, workshops, programs, etc.) in accordance
with the following laws, where applicable. Copies of these regulations are available at
www.nea.gov/about/civil and in the Guidelines (www.arts.gov/grants/apply/index).
a. Title VI of the Civil Rights Act of 1964, as amended, provides that no person in the
United States shall, on the grounds of race, color, or national origin, be excluded from
participation in, be denied benefits of, or be subject to discrimination under any program
or activity receiving Federal financial assistance. Title VI also extends protection to
persons with limited English proficiency. (42 U.S.C. 2000d et seq.)
b. Title IX of the Education Amendments of 1972 provides that no person in the United
States shall, on the basis of sex or blindness, be excluded from participation in, be denied
benefits of, or be subject to discrimination under any education program or activity
receiving Federal financial assistance. (20 U.S.C. 1681 and 1684 et seq.)
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c. Section 504 of the Rehabilitation Act of 1973 provides that no otherwise qualified
individual with a disability in the United States, shall, solely by reason of his/her disability,
be excluded from participation in, be denied benefits of, or be subject to discrimination
under any program or activity receiving Federal financial assistance. (29 U.S.C. 794)
Section 504 - Self-Evaluation and Additional Resources.
A Section 504 self-evaluation must be on file at your organization. For each award,
review the evaluation to ensure that it is still accurate, that your organization is still in
compliance, and that the activity supported by the Arts Endowment will be in
compliance. The lack of a Section 504 self-evaluation is one of the most common
findings referenced by our Inspector General when conducting an audit or review of
our award recipients. We have developed a 504 Self Evaluation Workbook (which
covers programs, activities and facilities) that you may use to determine if you are in
compliance with 504 requirements. If you have not previously conducted this self-
evaluation or wish to update the results of previously conducted evaluations, you may
obtain the Workbook on our Web site at www.nea.gov/about/504Workbook. Or you
may request a hard copy, free of charge, from the NEA's Office of Civil Rights at the
phone numbers noted above.
Design for Accessibility: A Cultural Administrator's Handbook provides guidance on
making access an integral part of an organization's staffing, mission, budget, and
programs. Contact your State Arts Agency for a free copy of the book or you may
purchase copies from the National Assembly of State Arts Agencies, (202) 347-6352
This Handbook and other resources may also be downloaded from the Arts Endowment's
Web site at www.arts.gov/resources/Accessibility. If you have questions, contact the
Office of Accessibility at (202) 682-5733; FAX (202) 682-5715, TTY (202) 682-5496.
d. The Age Discrimination Act of 1975 provides that no person in the United States shall,
on the basis of age, be excluded from participation in, be denied benefits of, or be subject
to discrimination under any program or activity receiving Federal financial assistance. (42
U.S.C. 6101 et seq.)
e. The Americans with Disabilities Act of 1990 (ADA) prohibits discrimination on the basis
of disability in employment (Title I), state and local government services (Title II), places of
public accommodation and commercial facilities (Title III). (42 U.S.C. 12101-12213)
29. Environmental and Preservation Policies
a. The National Environmental Policy Act of 1969, as amended, applies to any Federal
funds that would support an activity that may have environmental implications. We may
ask you to respond to specific questions or provide additional information in accordance
with the Act. If there are environmental implications, we will determine whether a
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categorical exclusion may apply, to undertake an environmental assessment or to issue a
"finding of no significant impact," pursuant to applicable regulations and 42 U.S.C. Section
b. The National Historic Preservation Act of 1966, as amended, applies to any Federal
funds that would support either the planning or major renovation of any structure eligible
for or on the National Register of Historic Places, in accordance with Section 106. This
law also applies to project activities, such as new construction, that would affect such
properties. We will consult with your State Historic Preservation Officer, as appropriate, to
determine the impact of your plan or renovation on the structure or any affected
properties. Any change in your design, renovation, or construction plans must be
submitted to us for review and approval prior to undertaking any of the proposed changes.
You may be asked to provide additional information on your project to ensure compliance
with the Act. (16 U.S.C. 470).
30. Other National Policies
a. Debarment and Suspension. You must comply with requirements regarding debarment
and suspension in Subpart C of 2 CFR part 180, as adopted by the Arts Endowment in
Title 2 CFR, Chapter 32, Part 3254.
There are circumstances under which we may receive information concerning your fitness
to carry out a project and administer Federal funds; for instance:
Conviction of, or a civil judgment for, the commission of fraud, embezzlement, theft,
forgery, making false statements;
Any other offense indicating a lack of business integrity or business honesty that
seriously and directly affects your present responsibility; and/or
Any other cause of so serious or compelling a nature that it affects an organization's
In these circumstances, we may need to act quickly to protect the interest of the
government by suspending your funding while we undertake an investigation of the
specific facts. We may coordinate our suspension actions with other Federal agencies
that have an interest in our findings. A suspension may result in your debarment from
receiving Federal funding government-wide for up to three years.
b. The Drug Free Workplace Act requires you to publish a statement about your drug-free
workplace program. You must give a copy of this statement to each employee (including
consultants and temporary personnel) who will be involved in award-supported activities
at any site where these activities will be carried out.
You must maintain on file the place(s) where work is being performed under this award
(i.e., street address, city, state and zip code.) You must notify the Arts Endowment's
Grants & Contracts Office of any employee convicted of a violation of a criminal drug
statute that occurs in the workplace. (41 U.S.C. 701 et seq. and 45 CFR Part 1155).
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c. Lobbying. You may not conduct political lobbying, as defined in the statutes, regulations
and OMB Circulars listed below, within your Federally-supported project. In addition, you
may not use Federal funds for lobbying specifically to obtain awards. For definitions and
other information on these restrictions, refer to the following
(1) "No part of the money appropriated by any enactment of Congress shall, in the
absence of express authorization by Congress, be used directly or indirectly to pay for
any personal service, advertisement, telegram, telephone, letter, printed or written
matter, or other device, intended or designed to influence in any manner a Member of
Congress, a jurisdiction, or an official of any government, to favor, adopt, or oppose,
by vote or otherwise, any legislation, law, ratification, policy, or appropriation, whether
before or after the introduction of any bill, measure, or resolution proposing such
legislation, law, ratification, policy, or appropriation; but this shall not prevent officers or
employees of the United States or of its departments or agencies from communicating
to any such Member or official, at his request, or to Congress or such official, through
the proper official channels, requests for any legislation, law, ratification, policy, or
appropriations which they deem necessary for the efficient conduct of the public
business, or from making any communication whose prohibition by this section might,
in the opinion of the Attorney General, violate the Constitution or interfere with the
conduct of foreign policy, counter-intelligence, intelligence, or national security
activities." (18 USC § 1913. Lobbying with appropriated moneys).
(2) OMB Circular A-122 (2 CFR 230) – "Lobbying" Revision clarifies that lobbying is an
unallowable project cost. The Circular generally defines lobbying as conduct intended
to influence the outcome of elections or to influence elected officials regarding pending
legislation, either directly or through specific lobbying appeals to the public. You
should review carefully both this Circular and Circular A-110 (2 CFR 215).
(3) Certification Regarding Lobbying to Obtain Awards. Section 319 of Public Law 101-
121, codified at 31 U.S.C. Sec. 1352, prohibits the use of Federal funds in lobbying
members and employees of Congress, as well as employees of Federal agencies, with
respect to the award or amendment of any Federal grant, cooperative agreement,
contract, or loan. While non-Federal funds may be used for such activities, they may
not be included in your project budget, and their use must be disclosed to the
awarding Federal agency. Disclosure of lobbying activities by long-term employees
(employed or expected to be employed for more than 130 days) is, however, not
required. In addition, the law exempts from definition of lobbying certain professional
and technical services by applicants and awardees
We strongly advise you to review these regulations carefully. They are published at 45
CFR Part 1158, and can be found at www.gpo.gov/fdsys/
d. The Native American Graves Protection and Repatriation Act of 1990 applies to any
organization that controls or possesses Native American human remains and associated
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funerary objects and receives Federal funding, even for a purpose unrelated to the Act.
(25 U.S.C. 3001 et seq.).
e. U.S. Constitution Education Program. Educational institutions (including but not limited
to "local educational agencies'' and "institutions of higher education") receiving Federal
funds from any agency are required to provide an educational program on the U.S.
Constitution on September 17 (PL 108-447, Division J, Section 111(b)). For more
information on how to implement this requirement and suggested resources, see
f. Arts Endowment Enabling Legislation. You are also required to execute your project,
(e.g., productions, workshops, programs, etc.) in accordance with the Arts Endowment's
enabling legislation that requires "artistic excellence and artistic merit" to be included in
the criteria upon which awards are made.
g. Prohibition on use of funds to ACORN or its subsidiaries. Beginning in FY 10 (award
number such as 10-xxxx-xxxx or DCA 2010-xx), none of the Federal or matching funds
expended for your award project may be distributed to the Association of Community
Organizations for Reform Now (ACORN) or its subsidiaries. (P.L. 111-88 Sec. 427).
Subgranting for State Arts Agencies, Regional Arts Organizations, and
Designated Local Arts Agencies
Per our legislation, only State Arts Agencies, Regional Arts Organizations, and designated
Local Arts Agencies are eligible to subgrant Arts Endowment funds.
A subgrant is an award made by a grantee or cooperator using award and/or matching funds
(i.e., an award resulting from Arts Endowment support, but not one made directly by us). A
subgrant exists when funds are regranted to an individual or an organization for activities
conducted independently of the direct award recipient and for the benefit of the subgrantee's
program objectives. A subgrant recipient is neither directly employed by nor affiliated with the
direct award recipient. Please be aware that a subgrant relationship could exist even if you
call the agreement a contract.
General Subgranting Requirements
a. Artistic Excellence and Artistic Merit. In accordance with the Arts Endowment's
enabling legislation, you must include "artistic excellence and artistic merit" in the review
criteria used to make the subgrant awards. (20 U.S.C. Sec. 951 et seq.)
b. Subgranting to Eligible Organizations, Units of State and/or Local Government.
501(c)(3) nonprofit organizations, units of state or local government, institutions of higher
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education, or Federally-recognized Indian tribal governments are eligible to receive funds
subgranted through an Arts Endowment award.
Effective with NEA awards beginning with the number 11-, you may not make a
subaward to an entity without a DUNS number (2 CFR 25). Thus, you must notify
potential subrecipients that the entity cannot receive a subaward from you unless the
entity has provided its DUNS number.
The Federal laws, rules, regulations and OMB Circulars that apply to Arts Endowment
organizational award recipients generally also apply to such organizations when they
receive a subgrant through an Arts Endowment supported award. Thus, you must inform
subgrantees that they are receiving Federal funds from the National Endowment for the
Arts, and that they must comply with these mandates.
You must also:
Provide them with your Federal award number and associated CFDA number (the
CFDA number is on your award letter or cooperative agreement document).
Instruct them that there may be no overlapping project costs between Federal awards,
whether they receive them directly from a Federal agency or indirectly, such as
through a state agency or other entity.
c. Requirements for Federal Funding Accountability and Transparency Act (FFATA)
implementation of subaward reporting. Effective with NEA awards beginning with the
number 11-, you may be required to report subaward information to the FFATA subaward
report database www.fsrs.gov/, as described in 2 CFR Part 170.
This requirement applies to subawards of $25,000 or more in Federal funds. Additional
information is available on our Web site.
d. Additional Requirements for Subgranting to Organizations and Individuals. Your
subgrant agreements must include a requirement that the subgrantee:
provides you with final reports and any other information or reports necessary for you
to fulfill all applicable Federal reporting requirements;
adheres to the prohibition against lobbying within a Federally supported grant or
uses U.S. air carriers for approved foreign travel; and
maintains records pertinent to the award for three years following submission of their
final report to you.
e. Progress reports. State Arts Agencies (SAAs) should require a progress report from their
subgrantees, with discretion to determine when these reports must be submitted.
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f. Time extensions. You should request a period of support time extension (not a final
report due date extension) from the Arts Endowment whenever a subgrantee's project
cannot be completed within your award period. See Item 7.
g. Subgrantee records. You must keep subgrantees' report submissions on file for three
years from the date you submit your Federal Financial Report to the Arts Endowment.
32. Arts Endowment Staff
Cooperators, please refer to your cooperative agreement for names of contact persons
available to answer questions.
Grantees, if you have any questions concerning administrative or technical requirements,
please contact the Grants & Contracts Office at (202) 682 5403 or firstname.lastname@example.org. For
programmatic requirements please contact the program discipline/field or office identified in
your award document at area code (202) :
Program discipline areas
Artist Communities 682-5790
Dance, Music, Opera 682-5044
Design, Media Arts, Museums, Visual Arts 682-5704
Folk & Traditional, Local Arts Agencies,
Literature, Musical Theater, Theater 682-5521
Multidisciplinary, Presenting 682-5690
Challenge America Fast-Track 682-5700
Dance 682 5438
Design 682 5452
Folk & Traditional Arts 682 5678 or 5726
International 682-5630 or 5766
Literature 682 5707
Local Arts Agencies 682-5586
Media Arts 682 5452
Museum 682 5452
A–M 682 5590
Musical Theater 682 5509
Opera 682 5600
Program Innovation 682-5713
(continues on next page)
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State & Regional 682 5430
Theater 682 5020 or 5509
Visual Arts 682 5452
33. Accessibility Resources
Individuals who are deaf or hard-of-hearing may e-mail the Grants & Contracts Office at
email@example.com or call (202) 682-5496 TTY.
Individuals who do not use conventional print may access this document on our Web site or
by contacting the Office for Accessibility at (202) 682-5733 for help acquiring an audio
recording of these General Terms or any other Arts Endowment publication.
Individuals with limited English proficiency or recipients serving such individuals should
contact the Office of General Counsel at (202) 682-5418 or by e-mail at firstname.lastname@example.org. You
can also find information at www.lep.gov.
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